A  B  C  D  E  F  G  H  I  L  M  N  O  P  Q  R  S  T  U  V  W  Y 

Effective Dates

Consolidated Rules; 08-57; IN 10/6/08

Electronic Communication Networks

TRN 2/19/08

Rule Changes; 04-68; 03-69; 98-85
Electronic Communications

07-30

E-mail; 01-17; 00-14; 98-108; 98-77; 98-03; 97-97
Electronic Filing; 02-26; FYI, June 1997
Electronic Update of Member Information; 97-97
Instant Messaging; 03-33
Nasdaq Issuers; FYI, February 1998
Registered Representatives, Meetings with; 98-18

Supervision of; 07-59; 07-30

Electronic Filing Requirements

08-11; 06-61
Eligibility Of Arbitration Claims; 05-10
Emergency Preparedness

05-57; 02-23

Emergency Contact Information; 07-42; 04-37

Emergency Office Relocation; 07-49
Employment Disputes

02-07; 01-36
Enforcement Actions (see Disciplinary Actions)
Equity Offerings; 06-52
Equity-Indexed Annuities 05-50

Equity-Linked Notes

TRN 7/28/08; TRN 7/1/08; TRN 2/22/08
Examinations

Scheduling; FYI, December 2002
Qualification Examinations; 05-70; 03-37; FYI, March 2003; 02-27; FYI, November 2001; 01-32; FYI, March 2001
Excess Spread Rule (NASD Rule 4613)

Elimination, Nasdaq securities; 97-76
Elimination, Third Market securities; 98-5
Exchange Offers

Member Obligations; 97-82
Ex-Dividend Dates

00-54
Executive Representative

07-42

Contact Information; 07-42; 00-14; 99-36; 98-108; 98-53; 97-20

Requirements; 04-32
Exempted Securities

01-63
Exercise-by-Exception 06-51

Exercise Limits

08-10; 08-04; 07-37; 07-08; 07-03; 06-46; 06-09; 05-56; 05-31; 05-06; 03-19
Expedited Proceedings 04-36
Exercise Procedures 06-51
Expense-Sharing Agreements

03-63
Expungement

04-43; 04-16; 01-65

Extension Processing

08-53; 08-32
Extension of Time Requests 06-62; 06-30;
Extensions or Credit and Securities Delivery 06-31